Comments on Proposed Rule: Certain Broker-Dealers Deemed Not To Be Investment Advisers

Comments have been received from individuals and entities using a variety of Letter Types:

Comment
A: 223

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Date Received
Date Letter Type Commenter Name
Public Comment William H. Kirby, CFP, Kirby Group, Inc., Reno, Nevada
Public Comment Mary Jane Johnson, CFP, Morton, Illinois
Public Comment John Ray Hurford
Public Comment Joseph G. Descant, III, CFP, Raymond James Financial Services
Public Comment Nicholas J. Orphan, CFP, A. Montag & Associates, Atlanta, Georgia
Public Comment Michele F. Dandrea, CFP, First Vice President-Investments, Legg Mason Wood Walker, McLean, Virginia
Public Comment Duane R. Thompson, Financial Planning Association
Public Comment Brad Holt, Oklahoma City, Oklahoma
Public Comment Renee Schweber
Public Comment Rachel E. Young, CFA, Registered Investement Adviser, Tuscasloosa, Alabama
Public Comment M. Halperin, MD
Public Comment Beth Schmidt, Vice President, Corporate Compliance Officer, Richard B. Vance and Co.
Public Comment Eric Haudenschild
Public Comment Steven M. Weinstein, CFP, Representative, Mutual Service Corp.
Public Comment George M. Yeiter, CPA/PFS, CFP, Houston, Texas
Public Comment Louis Morizio, CFP
Public Comment Barbara Roper, et al. for the Consumer Federation of America, Certified Financial Planner Board of Standards, Investment Counsel Association of America and the National Association of Personal Financial Advisors
Public Comment J. Wayne Alexander, CPA, Victoria, Texas
Public Comment Linda L. Stapf, CPA, financial advisor, Sykesville, Maryland
Public Comment Ron Horvitz, Registered Representative
Public Comment Brad Stark
Public Comment Dan Jamieson
Public Comment Tatung Mei
Public Comment Russell W. Ketron, CFP, Novato, California
Public Comment Guy M. Cumbie, CFP, Cumbie Advisory Services, Fort Worth, Texas
Public Comment William Kantner, ChFC, Chadds Ford, Pennsylvania
Public Comment Neal Solomon, CFP, Solomon Associates, Gloversville, New York
Public Comment Susie Johnston, CFP
Public Comment Daniel Boyce, CFP, CIMC, Center for Financial Planning, Inc., Southfield, Michigan
Public Comment Connie Roper

Last Reviewed or Updated: Dec. 18, 2025

File Number
S7-25-99
Release Number
34-42099
IA-1845
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